Information for Firms
How to Become a Member of FINRA provides basic guidance for applicants preparing to seek membership in FINRA, including a description of the various filing and qualification requirements, and the admission standards, that must be satisfied before FINRA membership is granted.
The Guide provides valuable insights, organized by specific subject matter, into the information that FINRA staff can be expected to consider in evaluating Rule 1017 applications.
On Friday, September 27th, 2002, FINRA announced the initial rate structure for Section 2(b) [Trading Activity Fee] effective October 1, 2002 pursuant to the provisions of Schedule A, Section 2 [Member Regulation Fees] to FINRA's By-Laws. Based on further analysis of trading volumes, the rate structure has been adjusted to incorporate a per trade maximum, retroactively effective to October 1, 2002
